Nex Systems
Type not stated

BROADBAND CAPITAL MANAGEMENT LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024404201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Broadband Capital Management LLC (BD No. 48001), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Broadband Capital Management LLC ("Broadband", "Respondent", or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2010024404201data-portal.finra.orgfinra.org

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